FINRA proposes a new “lite” registration regime for private placements and M&A activity.
The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more
An Updated Look at the World of Offers -
It all seems simple enough. The concept of “offer” is broad under the securities laws, so companies and underwriters need to be careful about any publicity in connection with a...more
3/7/2014
/ Compliance ,
Corporate Counsel ,
Corporate Governance ,
Dodd-Frank ,
Initial Public Offering (IPO) ,
JOBS Act ,
Offers ,
Press Releases ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Underwriting
Recent SEC no-action letter provides business brokers relief from federal broker-dealer registration requirement.
On January 31, 2014, the Division of Trading and Markets of the U.S. Securities and Exchange Commission...more